Author: PCJ Law

FINRA brokercheck CRD U5 Expungement

FINRA Poised to Add New Challenges, Costs to Customer-Related Complaint Expungement Process

FINRA Poised to Add New Challenges, Costs to Customer-Related Complaint Expungement Process Changes are on the horizon for expungement – at least for the expungement of customer complaints. As reflected in a Release by the Securities and Exchange Commission, FINRA is poised to impose further requirements on expungement requests filed by: an associated person during […]
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investment fraud lawyer

ACAT Fraud

Both Investors and Firms alike should be on the lookout for ACAT Fraud In a recent Regulatory Notice, accessible here, FINRA alerted member firms to a rising trend in customer assets being pilfered through the utilization of fraudulent Automated Customer Account Transfer forms (“ACATs”). Awareness is the first step in preventing new types of fraud […]
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Contact

  • Prosser, Clapper & Johnson Law 5865 Ridgeway Center Parkway, Suite 300 Memphis, Tennessee 38120
  • 901-820-4433
  • np@prosserlaw.com

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